{ "crd_number": 298248, "slug": "kaizen-financial-strategies-llc-pleasanton-ca-298248", "primary_business_name": "KAIZEN FINANCIAL STRATEGIES, LLC", "legal_name": "KAIZEN FINANCIAL STRATEGIES, LLC", "dbas": [], "city": "Pleasanton", "state": "CA", "country": "United States", "cbsa_code": "41860", "metro": { "cbsa_code": "41860", "common_name": "San Francisco", "msa_name": "San Francisco-Oakland-Fremont, CA", "path": "/advisors/ca/san-francisco" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2018-11-02", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-03-03", "carried_forward": false, "raum_total": 287108827.0, "raum_discretionary": 285232320.0, "raum_non_discretionary": 1876507.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 5, "advisory_employees": 5, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 8307701.0, "count": null, "fewer_than_5": true }, "individuals": { "raum": 143573374.0, "count": 229 }, "high_net_worth_individuals": { "raum": 132583063.0, "count": 55 }, "corporations_other_businesses": { "raum": 2644689.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "CA", "NY", "TX", "VA", "WA" ], "websites": [ "https://kfstrategies.us", "https://linkedin.com/IN/IFTIAHMED", "https://linkedin.com/IN/JOHN-STACHNICK-2B9164178", "https://linkedin.com/IN/SAADIA-AHMED-CFP%C2%AE-CMFC%C2%AE-51A1742", "https://linkedin.com/company/18979364/admin", "https://linkedin.com/in/saul-greene-8688a850" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298248", "city_as_filed": "PLEASANTON", "url": "https://advisorcensus.com/firm/kaizen-financial-strategies-llc-pleasanton-ca-298248", "display_name": "Kaizen Financial Strategies, LLC", "summary": "Kaizen Financial Strategies, LLC is an SEC-registered investment advisory firm in Pleasanton, CA, registered since 2018, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 3, 2026.", "citation": "AdvisorCensus. Kaizen Financial Strategies, LLC (CRD 298248): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services" ], "quick_answers": [ { "q": "How is Kaizen Financial Strategies, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Kaizen Financial Strategies, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Kaizen Financial Strategies, LLC located?", "a": "Kaizen Financial Strategies, LLC's principal office is in Pleasanton, CA, according to its Form ADV." }, { "q": "Is Kaizen Financial Strategies, LLC registered with the SEC or a state?", "a": "Kaizen Financial Strategies, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 298248." }, { "q": "How much does Kaizen Financial Strategies, LLC manage?", "a": "Kaizen Financial Strategies, LLC reports $287,108,827 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (99% discretionary)." }, { "q": "How have Kaizen Financial Strategies, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Kaizen Financial Strategies, LLC: Regulatory assets under management: $142,321,567 in the October 2021 data and $287,108,827 in the October 2026 data, up 102%. Total employees: 6 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Kaizen Financial Strategies, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (229); high net worth individuals (55)." }, { "q": "Which custodians does Kaizen Financial Strategies, LLC use?", "a": "Kaizen Financial Strategies, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Kaizen Financial Strategies, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/298248" }, { "q": "What changed in Kaizen Financial Strategies, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $234,439,946 to $287,108,827 (+22%). Registered or notice-filed in NY." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 142321567.0, "total_employees": 6, "filing_date": "2021-09-27" }, { "period": "2022-10-01", "regulatory_assets_under_management": 176585470.0, "total_employees": 8, "filing_date": "2022-01-26" }, { "period": "2023-10-01", "regulatory_assets_under_management": 141286698.0, "total_employees": 7, "filing_date": "2023-02-20" }, { "period": "2024-10-01", "regulatory_assets_under_management": 182673115.0, "total_employees": 6, "filing_date": "2024-05-07" }, { "period": "2025-10-01", "regulatory_assets_under_management": 234439946.0, "total_employees": 5, "filing_date": "2025-03-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": 287108827.0, "total_employees": 5, "filing_date": "2026-03-03" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $234,439,946 to $287,108,827 (+22%).", "Registered or notice-filed in NY." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/kaizen-financial-strategies-llc-pleasanton-ca-298248.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 229, "fewer_than_5": false, "raum": 143573374.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 55, "fewer_than_5": false, "raum": 132583063.0 }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": 8307701.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": 2644689.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/298248", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }